Enforcement

With the SEC announcing Robert Khuzami as its new head of Enforcement, expect agency enforcers to be looking to make a bold statement. Consider the ...

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...

The advisory profession sustained another black eye with the mysterious disappearance this month of a 76-year-old Florida hedge fund manager who has apparently vanished with ...

Even as the Bernie Madoff scandal continues to pan out, the SEC may be returning to a past investigation of a Wall Street big shot ...

Wayne Cassaday's investment advisory business grew rapidly, topping $30 million AUM within three years. The president and CCO of Battery Wealth Management in Mount Pleasant, ...